David H. Fagenson

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CRD#: 1652012

Professional summary

David Howard Fagenson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, David had worked at 7 firms, which includes NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, KIDDER PEABODY & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 1, 2017 - July 30, 2019

NFSG CORPORATION

RIA

CRD#: 130814

BOCA RATON, FL

Past

December 7, 2016 - January 24, 2019

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

September 10, 2010 - October 19, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PALM BEACH, FL

Past

September 3, 2010 - October 19, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PALM BEACH, FL

Past

August 2, 2002 - September 30, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WEST PALM BEACH, FL

Past

August 2, 2002 - September 30, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WEST PALM BEACH, FL

Past

July 30, 2002 - September 4, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RIDGEWOOD, NJ

Past

September 16, 1999 - September 4, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 15, 1992 - October 1, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 23, 1992 - December 15, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 5, 1990 - November 24, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 29, 1987 - November 19, 1990

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/6/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Current Firm

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

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Contact information

Main Address

1200 North Federal Highway Suite 400, Boca Raton, FL 33432

Mailing Address

Phone number

(954) 334-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/30/2025)

NFSG WRAP FEE PROGRAM BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts	3,587
AUM (Assets Under Management)	$ 813,494,847

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David H. Fagenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWBRIDGE SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

NFSG CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

Current Firm

NFSG CORPORATION

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NFSG CORPORATION

TRUST BUT VERIFY

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